SEC Form 4 · accession 0001144204-15-018338
Liquid Holdings Group, Inc. · LIQD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert O'Boyle
Officer — President
Period of report
Mar 23, 2015
Accepted (ET)
Mar 25, 2015 · 3:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001562594
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 23, 2015 | F | 6,494 | $0.3145 | D | 33,412 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.50 | holding | — | — | — | — | Nov 12, 2024 | Common Stock | 175,000 | 175,000 | D |
| Employee Stock Option (right to buy)F3 | $9.00 | holding | — | — | — | — | Jul 30, 2023 | Common Stock | 91,420 | 91,420 | D |
Explanation of responses
- F1Shares withheld by Issuer to cover taxes associated with settlement of restricted stock units.
- F2The option vests in three equal installments on November 13, 2015, 2016 and 2017.
- F3The option vests in three equal installments on March 1, 2014, 2015 and 2016.